The securities attorneys at Gana Weinstein LLP are currently investigating previously registered broker John James (James). According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), in March 2016, James was discharged by his firm, Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) based on allegations that James was engaging…
Recently, Sandeep Varma’s (Varma) attorney reached out to our firm to inform us that our post on Varma was inaccurate. The post detailed that Varma had been subject to five customer and that the majority of these complaints involved the recommendation of unsuitable and misrepresented variable investments including CRTs and…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Osbert Haynes (Haynes), currently employed by Laidlaw & Company (UK) Ltd. (Laidlaw), has been subject to two customer complaints, one regulatory action, and six tax liens or judgments. Most of a Haynes’ customer complaints allege that…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Oscar Francis (Francis), formerly associated with MML Investor Services, LLC (MML) in Ft. Lauderdale, Florida, was terminated for cause by MML concerning allegations that he engaged in private securities transactions. MML stated that Francis’ was “terminated in…
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Brent Van Lott (Lott) is being investigated for allegedly violating FINRA rules. Lott has also been subject to three customer disputes. In January 2016, a customer alleged Lott initiated trades without the customer’s written consent. This dispute…
The investment attorneys at Gana Weinstein LLP are investigating claims against broker Lyle Boudreaux (Boudreaux). According to BrokerCheck records, Boudreaux has received three customer complaints. Additionally, Boudreaux was terminated from Merrill Lynch in 2012. In October 2017, a customer allegedly suffered losses in an advisory account due to an allegedly…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Wendel (Wendel), in September 2017, was terminated by his firm, SA Stone Wealth Management Inc. (SA Stone Wealth) based on allegations that Wendel violated the firm’s policy on selling away. In addition, Wendel has five customer…
Customers have filed complaints and The Financial Industry Regulatory Authority (FINRA) recently barred broker John Hudnall (Hudnall) – formerly with U.S. BanCorp Investments, Inc. (U.S. BanCorp). The securities attorneys at Gana Weinstein LLP are investing the allegations against Hudnall including unsuitable investments among other claims. According to brokercheck records Hudnall…
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). According to BrokerCheck records, Palmer is subject to at least five customer complaints. The customer complaints against Palmer allege securities law violations that claim unsuitable investments,…
The securities fraud lawyers of Gana Weinstein LLP are investigating a regulatory complaint (Disciplinary No. 2015043159501) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Kevin Murphy (Murphy). FINRA alleged that in or about November 2013, Murphy sold $1.2 million of shares and warrants in a private placement to…